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On June 28, 2011, in a much anticipated decision, a panel of the United States Court of Appeals for the Seventh Circuit, in In re River Road Hotel Partners, LLC, affirmed a decision of th...
This is the first of a series of posts to discuss key shareholder proposals during proxy season 2011.
While ISS reports that 39% of S&P 500 companies continue to have staggered boards,...
Late last week, the United States Supreme Court affirmed a 2010 ruling of the Ninth Circuit Court of Appeals and held that a bankruptcy court, as a non-Article III court, did not have the...
Some shareholders are using lawsuits as a new tactic to fight what they perceive as an escalation in executive compensation. Shareholders are likely to find these suits difficult to push...
Pursuant to the Collins Amendment of the Dodd-Frank Act, the Federal Reserve Board, FDIC and OCC have adopted a final rule to replace the transitional floors in the Federal banking agenci...
On June 16, 2011, the SEC approved new FINRA Rule 1230(b)(6), that will require, for the first time, that persons with supervisory, management or decision-making authority over specified ...
The Dodd-Frank frequency vote is of course “nonbinding”, but companies that have “lost” the vote for triennial frequency have almost without exception decided that the better part...
The CFTC and SEC took actions this week that are expected to defer most Dodd-Frank requirements regulating swaps and security-based swaps (“SBS”) that would otherwise have gone into e...
On June 13, 2011, the U.S. Supreme Court issued an important decision clarifying the scope of liability for “making” false statements under Section 10(b) of the Securities Exchange Ac...
SEC Rules and Regulations
* SEC Proposes Rule on Disqualification of “Bad Actors” from Rule 506 Offerings
Industry Update
* FINRA Delays Implementation of Rule 5131(b) Prohibition...